Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

…

CASS 1A.1 Application

As Published: 2010

CASS 1A.1 Application

…

CASS 9.1 Application

As Published: 2010

CASS 9.1 Application

…

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DISP 4.2 Standard terms

CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit

CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit

PERG 4.15 Mortgage activities carried on by 'packagers'

COLL 5.3 Derivative exposure

EG 13.11 Applications for orders against debt avoidance: the FCA’s policy

REC 3.19 Investigations

REC 3.7 Auditors

COLL 11.4 Depositaries

SUP 15.6 Inaccurate, false or misleading information

PERG 5.16 Meaning of ‘insurance distribution’ and ‘reinsurance distribution’

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

ICOBS 6.1 Providing product information to customers: general

FEES 6.5 Compensation costs

MCOB 1.2 General application: who? what?

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products